DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

A•••••••• M• M••••••••

L•••• W••••• M•••••••••state registeredCedar Rapids, IaIA-onlyIAPD 6857146

Feed of 09/14/2026

Also filed as A•••••••• Marie M••••••••

At current firm

1 y

since May 29, 2025

In the industry

13 y

since Aug 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•••• W••••• M••••••••• state registered current
since May 29, 2025 · C•••• Rapids, Ia
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Mar 12, 2025 to May 1, 2025 · Centennial, Co
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 6, 2023 to Jul 2, 2024 · C•••• Rapids, Ia
R•• C•••• state registered
Apr 4, 2023 to Aug 15, 2023 · C•••• Rapids, Ia
S••••• W••••• A•••••••• I••• no RAUM
May 28, 2019 to Jul 14, 2020 · Lone Tree, Co
C•••••• S••••• • C••• I••• national BD
May 28, 2019 to Jan 24, 2023 · Lone Tree, Co

Moves

a registration end followed by a registration begin elsewhere

T••••••••• F•••••••• A•••••••• L•• to L•••• W••••• M•••••••••
left May 1, 2025, registered May 29, 2025 (28 days) · Affiliated broker-dealer or bank to a state-registered adviser
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••••• F•••••••• A•••••••• L••
left Jul 2, 2024, registered Mar 12, 2025 (253 days) · Wirehouse to affiliated broker-dealer or bank
R•• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 15, 2023, registered Sep 6, 2023 (22 days) · Other
C•••••• S••••• • C••• I••• to R•• C••••
left Jan 24, 2023, registered Apr 4, 2023 (70 days) · Affiliated broker-dealer or bank to a state-registered adviser
S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Jul 14, 2020, registered May 28, 2019 (-413 days) · channel change inside one enterprise, not a move

Signals

A•••••••• M• M•••••••• left T••••••••• F•••••••• A•••••••• L•• for L•••• W••••• M••••••••• (registered 2025-05-29)
May 1, 2025 · Advisor changed firm · fact
A•••••••• M• M•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for T••••••••• F•••••••• A•••••••• L•• (registered 2025-03-12)
Jul 2, 2024 · Advisor changed firm · fact
A•••••••• M• M•••••••• left R•• C•••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-09-06)
Aug 15, 2023 · Advisor changed firm · fact
A•••••••• M• M•••••••• left C•••••• S••••• • C••• I••• for R•• C•••• (registered 2023-04-04)
Jan 24, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address